Graham Capital Management, L.P. - Compliance Officer
Requirements
• Bachelor's degree and minimum of 7 years of compliance experience at an FCA-authorised buy-side firm (asset manager, hedge fund, or similar alternative investment manager); global macro, managed futures, or systematic/quantitative strategy experience a plus. • Demonstrated working knowledge of the FCA Handbook, including SYSC, COBS, and SM&CR requirements. • Hands-on experience with UK Companies House filings and familiarity with UK financial statement filing requirements. • Experience with ICO data protection registration and UK GDPR compliance obligations. • Experience developing and delivering AML and K MAR) training programs. • Experience supporting board and governance processes, including preparation of board materials. • Relevant professional qualification preferred (e.g., ICA Diploma in Compliance, CISI qualifications, or equivalent). • Strong working knowledge of UK regulatory requirements applicable to investment managers, with the judgment to identify when to escalate to the CCO or external counsel. • Excellent written and verbal communication skills, with the ability to prepare clear, concise materials for senior management and the board. • High degree of integrity, discretion, and sound judgment in handling confidential information. • Strong organizational skills and the ability to manage multiple regulatory deadlines independently. • Comfortable working within a small, hands-on UK office while coordinating closely with a global Compliance team based in the US. • Proficiency with Microsoft Office; familiarity with compliance monitoring or GRC systems a plus. • This role requires commuting into our London office Mondays through Fridays.
Responsibilities
• Manage the UK entity’s FCA regulatory filings and ongoing reporting obligations, including coordinating with finance, external auditors, and other advisors, as needed, in the preparation of financial statements filed with the FCA and Companies House. • Prepare and submit all required statutory and corporate filings for the UK entity with UK Companies House. • Manage data protection compliance and required filings with the Information Commissioner's Office (ICO), including maintenance of registration and oversight of applicable data protection obligations. • Prepare materials for periodic UK corporate board meetings, including compliance reporting, regulatory updates, and risk and control matters. • Administer the Senior Managers and Certification Regime (SM&CR), including annual certification, fitness and propriety assessments, Conduct Rules training, and maintenance of the Senior Managers Regime (SMR) and Certification Regime population tracking. • Develop, coordinate, and deliver compliance training for the UK office, including new joiner onboarding and periodic training on AML, market abuse (UK MAR), and other applicable regulatory requirements. • Develop and conduct periodic compliance testing and monitoring in coordination with the global Compliance team, including testing of UK-specific policies and procedures. • Monitor UK and EU regulatory developments relevant to the firm's business (e.g., FCA Handbook changes, UK MAR, SYSC, SM&CR, data protection/UK GDPR) and advise management on implementation. • Administer the firm’s Code of Ethics requirements, including reviewing and preclearing personal securities transactions, reviewing personal account statements and transaction activity, monitoring and resolving compliance alerts, and following up on potential exceptions or violations.
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